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You must inform each employee in writing about:

• your disciplinary rules
• your disciplinary and dismissal procedure
• the name of the person that they should appeal to if they are unhappy about a disciplinary or dismissal decision

You can either include this in their written statement of employment or refer in the statement to where they can find the information, eg, in a staff handbook.

If you fail to provide this information to an employee and they succeed in an industrial tribunal claim against you, they could be awarded two or four weeks' pay.

The status of disciplinary procedures

Current legislation stipulates that an employer must provide their employee with a written statement of employment within two months of commencing employment. This statement should also include a note specifying any disciplinary rules applicable to the employee and who they should address any appeals to if they are dissatisfied with a disciplinary/dismissal decision.

This information can be provided in a separate document as long as this is reasonably accessible to the employee. Many employers opt to provide these documents by way of written procedures that are simply appended to the written statement.

You must tell your employees about your rules on acceptable and unacceptable behaviour in the workplace, and the consequences of breaching them.

Setting out disciplinary rules

Your disciplinary rules should cover:

• absence
• timekeeping
• performance
• health and safety
• personal appearance
• discrimination, bullying and harassment
• smoking, alcohol and drug consumption
• use of company facilities and equipment for personal reasons during work time
• internet/social media usage

Note that sometimes rule breaches on absence may be more appropriately dealt with as a capability matter. The Labour Relations Agency can advise on this. Your rules should make it clear that if an employee doesn't meet the minimum standards of conduct or performance, you may begin disciplinary action against them.

Gross misconduct

The rules should also give examples of what behaviour you will treat as gross misconduct. This is misconduct judged so serious that it will lead to dismissal without notice, such as:

• being drunk or under the influence of drugs at work
• fighting at work
• fraud
• gross negligence or insubordination
• serious breaches of health and safety rules
• theft
• wilful damage to property
• use of the internet or email to access pornographic, obscene, or offensive material
• accessing confidential information deliberately when not entitled to
• bringing the organisation into serious disrepute

Make it clear that the list is not exhaustive. What counts as gross misconduct varies depending on the type of business and the role of the employee.

(It would only be in extreme cases that general bullying and harassment would be considered gross misconduct. Allegations of bullying and any allegations of discrimination, victimisation, or harassment would be dealt with as a disciplinary matter with only the most serious issues being considered as gross misconduct for a first offence.)

Disciplinary procedures

Your disciplinary procedure should be set out in writing, follow the principles set out in the and, at the very least, comply with the statutory disciplinary and dismissal procedures.

If you unreasonably fail to follow the statutory procedures, or your own enhanced dismissal/disciplinary procedure, and the issue ends up at an industrial tribunal or statutory arbitration hearing, any compensation awarded could be increased by between 10% and 50%.

When faced with a potential disciplinary issue, you should carry out a full investigation before taking any action.

Consider:

• the alleged breach of the discipline policy
• the circumstances and consequences of the breach
• the employee's job, experience, length of service and disciplinary record
• any recent changes to the employee's job
• the evidence of any witnesses (and if relevant, their reliability)
• whether the employee has received appropriate counselling or training
• any mitigating circumstances, eg health or domestic problems, or provocation

You should then review the evidence and decide if:

• a case exists, and whether it is serious enough for disciplinary measures
• there is an alternative to disciplinary action, eg an informal chat or redeployment

Suspending an employee while an investigation takes place

For certain serious offences, you may need to suspend an employee while you investigate the issue. They should continue to receive their full pay. You should also consider alternative actions which would be more acceptable to the employee yet serve the same purpose as a suspension, eg agreeing to a temporary transfer to other duties or another workstation without loss of pay or the taking of annual holidays to which the employee is entitled. Any action taken should be reviewed to ensure it is not unnecessarily protracted. You should make it clear that any action taken is not considered disciplinary action.

Criminal offences as a disciplinary issue

Don't dismiss someone just because they have been charged with or convicted of a criminal offence, either at work or outside of work. You should consider the seriousness of the offence and whether it affects their suitability to continue working for you.

If it does, follow your normal disciplinary procedure. If it doesn't, decide whether you can keep their job open during their absence.

Base your decision on a reasonable belief following an investigation into the circumstances. If a criminal charge has been made, you will need to consider whether you can proceed with any disciplinary action immediately or whether you should await the outcome of any criminal proceedings. You can seek advice from the Labour Relations Agency (LRA) on individual circumstances.

If an employee's performance or conduct does not meet your standards, you should try to help them improve. Have an informal discussion with them as soon as you're aware of a problem. Explain what they're doing wrong and agree on actions to be taken.

If the employee's poor conduct or performance continues, you may have to take formal disciplinary action.

Your disciplinary procedure should - at the very least - comply with the statutory dismissal and disciplinary procedures, and meet the good-practice principles set out in the .

Remember that the employee has the right to be accompanied by a work colleague or Trade Union Official (who may be either a full-time official employed by a union or a lay union official who has been reasonably certified in writing by his/her union as having experience of or as having received training in, acting as a worker's companion) at any formal disciplinary meeting.

Formal disciplinary procedure

When taking formal disciplinary action, the employer should comply with the statutory procedures by ensuring that the following steps are taken at all stages of the formal disciplinary process.

Step 1: Statement of grounds for action and invitation to meeting

The employer must provide the employee with a written statement of the alleged misconduct that has led to the consideration of formal disciplinary action or dismissal. The employer should invite the employee to a hearing to discuss the issue.

Step 2: Hearing

Prior to the hearing, the employer should supply any information relevant to the allegation, allowing the employee sufficient time to consider the details and prepare their defense. After the meeting, the employer should inform the employee of the decision and offer the right to appeal.

Step 3: Appeal

If the employee wishes to appeal, he or she will inform the employer within five working days. The employer will invite the employee to a further hearing to discuss the appeal. The final decision will be communicated to the employee.

Minor misconduct

If the alleged breach falls within the minor misconduct category, the employer should follow the formal procedure outlined above, and the following action will be taken if the employer is satisfied that an offence has occurred:

Stage 1: Verbal warning

The employee should be given a verbal warning. It will be recorded and retained on file for a period of 6 months.

Stage 2: First written warning

If the same or similar offence is repeated within 6 months, the employee should be given a first written warning. It will be recorded and retained on file for a period of 12 months.

Stage 3: Final written warning

If the same or similar offence is repeated within 12 months, the employee should be given a final written warning. This will contain a clear notice that a repeat of the offence within 12 months will result in dismissal.

Stage 4: Dismissal

If an employee has been issued with a final written warning, then this normally means that any further misconduct within the duration of the warning may result in dismissal.

Major misconduct

If the alleged breach falls within the major misconduct category, the employer will follow the formal procedure as outlined above. If the employer is satisfied that an offence has occurred, the employee will receive a final written warning which will contain a clear notice that a repeat of the offence within 12 months may result in dismissal.

Gross misconduct

If the alleged breach falls within the gross misconduct category, the employer will follow the formal procedure as outlined above. If the employer is satisfied that an offence has occurred the employee will be dismissed summarily, ie without notice and without wages in lieu of notice.

Before you hold a disciplinary hearing, you should:

• familiarise yourself with the statutory dismissal and disciplinary procedures, the , and your own enhanced dismissal and disciplinary procedure so that you apply it correctly and act fairly and consistently
• carry out a full investigation, familiarise yourself with the facts established from the investigation, including any witness statements and details of any past disciplinary action taken against the employee
• arrange for someone to take notes

You should also ensure the employee has:

• plenty of time before the meeting to prepare their case and consult any representatives
• details of the complaint, the procedure to be followed, and the need for them to attend a disciplinary hearing
• had the opportunity to exercise their right to be accompanied at the hearing by a colleague or trade union representative
• copies of any documents you intend to rely on as evidence at the hearing

If the employee is a trade union representative, it is advisable to discuss the case with a full-time trade union officer or senior trade union representative. You should get the employee's agreement to this before discussing the case.

When holding a formal disciplinary hearing, you should:

• ensure that it's private and won't be interrupted
• introduce everyone and explain why they are there
• explain the reason for the hearing and how it will be conducted
• describe the exact nature of the complaint and go through the evidence
• give the employee a chance to state their case and to respond to any allegations made
• get all the facts and take note of any special circumstances
• summarise what's been discussed and highlight any issues that need to be investigated further

If it becomes clear that the employee has a satisfactory explanation for their conduct or performance, adjourn the hearing, make your decision, and notify the employee that there is a finding of 'no case to answer'.

Informing the employee of your disciplinary decision

Following a disciplinary hearing, you should inform the employee as soon as possible in writing of:

• the disciplinary penalty you plan to impose, if any
• the reasoning behind your decision
• the specific improvement that is required, if any
• how long any warning is going to remain in force
• what will happen if they continue to perform or behave poorly
• their right of appeal and how this should be carried out

Dealing with delays to the disciplinary hearing

If the employee is genuinely unable to attend the disciplinary hearing, offer them a reasonable date and time as an alternative.

You should make the employee aware that decisions may be taken in their absence if they fail to attend rearranged meetings without good reason.

If the employee chooses to be accompanied by a companion and the employee's companion cannot make the rearranged hearing, the employee must propose another date and time which is no more than five working days after the day you originally proposed.

If the employee fails to attend the rearranged hearing without good reason, you can treat this stage of the procedure as complete and make your decision there and then. You must still inform the employee in writing of your decision and that they have the right to appeal.

If you cannot make the rearranged hearing, you must offer the employee a reasonable alternative date and time.

Notify the employee as soon as possible of any delays. If you fail to do so, an industrial tribunal/arbitrator could increase any compensation awarded to the employee.

Dealing with long-term absence

An employee may well become anxious or stressed in the run-up to a disciplinary hearing, which can lead to them being absent with stress-related illness.

If this happens, you can ask the employee's GP or an occupational health specialist for a medical report. You must gain the employee's agreement before doing so.

The report should state whether or not the employee is fit enough to attend a hearing in the near future.

If they are deemed fit enough to attend, you should arrange the hearing with the employee in the normal way.

If they are not fit to attend, you might not be able to complete the disciplinary procedure without unreasonable delay. You can treat the procedure as having been completed and make a decision in the employee's absence. You should still tell the employee that they can supply written representation or other material for their defence if they wish.

If the employee raises a grievance during the disciplinary process, the employer can deal with the issue as follows:

If the grievance is unrelated to the disciplinary allegations

It would normally be safe to progress with the disciplinary matter and deal with the grievance at a later stage.

If the grievance essentially constitutes the employee's defence to the disciplinary issues

It would be desirable to deal with the two things at the same time. For example, a proposed dismissal for poor performance where the grievance alleges this was due to a manager's bullying. No discussion of the one could sensibly be carried out without a rehearsal of the other.

If the grievance seeks to criticise or cast doubt on the integrity of the individual who is to make the disciplinary or dismissal decision

The safest course of action may be to adjourn the disciplinary hearing until the grievance has been resolved or to sidestep the grievance by shifting the making of the proposed disciplinary decision to another manager if the employer's hierarchy gives space to do so.

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After a disciplinary hearing, you could decide to:

• drop the issue completely
• issue a verbal, written - or a final written - warning
• provide counselling or training to help resolve the issue
• apply a disciplinary penalty, such as demotion or dismissal

Take account of factors such as the employee's previous record and any mitigating circumstances in making your decision.

Disciplinary action other than dismissal

If you feel that the employee's misconduct or poor performance was not serious enough to dismiss them, you could:

• transfer them to another job
• demote them
• fine them, eg, by not paying a bonus that they might have been eligible for
• suspend them without pay - this is not very common and would mean that you lose the employee's services for a time

To avoid potential claims, you should ensure disciplinary actions are authorised by the employee's contract of employment.

An employee has the right to appeal against the decision you make after the disciplinary hearing. You must tell them that they have this right when you give them written notice of your decision. Give them a deadline, eg, 5 working days, to let you know whether or not they want to appeal.

If the employee does appeal, you must try to hold the appeal hearing without unnecessary delay.

Before you hold an appeal hearing, you should make the same preparations that you made before the earlier disciplinary hearing(s).

Holding an appeal hearing

The principles for holding an appeal hearing are generally the same as for the initial disciplinary hearing.

However, at the appeal hearing, you should also consider:

• the reasoning behind the appeal
• any new evidence since the earlier decision

Ideally, the person hearing the appeal should be different and more senior than the person who heard the initial hearing.

However, where the person hearing the appeal also heard the first hearing, they should act impartially and make sure they review the original decision carefully.

After the hearing, write to the employee with your decision and the reason for it as soon as possible. If the decision is final, your letter should make this clear.

Dealing with delays to the appeal hearing

You should deal with delays to the appeal hearing in the same way that you deal with delays to earlier disciplinary hearings.

Let the employee know as soon as possible of any delays to the appeal process. If you don't, an industrial tribunal/arbitrator could increase any compensation it awards to the employee. The .